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Characterizing Classes Defined Without Equality
Characterizing Classes Defined Without Equality
without Equality
R. Elgueta∗
Departament de Matemàtica Aplicada II
Universitat Politècnica de Catalunya
Pau Gargallo, 5
08028 Barcelona, Spain
∗
Abstract. In this paper we mainly deal with first-order languages without equality
and introduce a weak form of equality predicate, the so-called Leibniz equality. This
equality is characterized algebraically by means of a natural concept of congruence;
in any structure, it turns out to be the maximum congruence of the structure. We
show that first-order logic without equality has two distinct complete semantics (full
semantics and reduced semantics) related by a reduction operator. The last and main
part of the paper contains a series of Birkhoff-style theorems characterizing certain
classes of structures defined without equality, not only full classes but also reduced
ones.
1. Preliminaries
1.1. Basic Notation and Terminology. Let the triple L = hF, R, ρi be a first
order language; F and R denote pairwise disjoint sets of function and relation
symbols of L respectively (R must be nonempty), and ρ is the arity function from
F ∪ R into the set of natural numbers. We use capital Gothic letters A, B, C, . . . ,
with appropriate subscripts, to represent structures over L, also called L-structures.
In order to be consistent with the notation, we denote by A the universe of A, and
by FA and RA the interpretations on A of the collections of function and relation
symbols of L respectively, i.e., FA = {f A : f ∈ F } and RA = {rA : r ∈ R}. The
corresponding boldface letter A is used to denote the underlying algebra hA, FA i of
A, and we normally write f A instead of f A . Lowercase boldface letters a,b,. . . are
used to indicate members of the cartesian product of some family of sets. So, if A
is an L-structure, a = ha1 , . . . , an i belongs to An , f ∈ F and r ∈ R, and h is any
mapping with domain A, then f A a, a ∈ rA and ha are short-hand for f A a1 . . . an ,
ha1 , . . . , an i ∈ rA and hha1 , . . . , han i, respectively.
By an L-algebra we mean the underlying algebra of any L-structure; of course,
if the set of function symbols is empty, an L-algebra simply means an arbitrary
∗
Work partially supported by grant EE92/2-260 of CIRIT, Generalitat de Catalunya. E-mail
address: elgueta@ma2.upc.es.
Typeset by AMS-TEX
1
2
set. The absolutely free L-algebra over a set of ω variables, i.e., the algebra of all
L-terms over ω variables, is denoted by TeL .
Formulas are represented by lowercase greek letters ϕ, ψ, ϑ, . . . , and uppercase
ones are used to denote sets of formulas. We write ϕ(x1 , . . . , xn ) to indicate that
the free variables that occur in ϕ are among x1 , . . . , xn . Given an L-structure A,
an algebra homomorphism g : TeL →A (called assignment) and an L-formula ϕ,
we use the notation A |= ϕ[g] to indicate that the formula ϕ holds in the structure
A under the assignment g, in the usual way. Following the standard convention,
A |= ϕ expresses that A satisfies the universal closure of ϕ. When we write
A |= ϕ(x1 , . . . , xk ) [a1 , . . . , ak ],
we mean A satisfies ϕ with respect to any assignment g : TeL →A such that gxi =
ai , for all 1 ≤ i ≤ k.
We say L is a language with equality, or simply L has equality, when L contains
a binary relation symbol ≈ which is always interpreted as the identity; in other
terms, only the structures A for which ≈A is the diagonal relation, i.e., the set
∆A = {ha, ai : a ∈ A}, count as L-structures. On the contrary, we say L is a
language without equality, or L has no equality, provided that L does not contain
any such binary relation symbol. Thus, if L is without equality and r is some binary
relation symbol of L, then r can be interpreted in the L-structures as any binary
relation whatsoever∗∗ .
or not of the equality symbol among the logical constants. We do not follow this widely accepted
convention in the preceding definition; the reason is that in this way all the results we state in the
sequel amount to well-known results in the case the language has equality.
3
Strong homomorphisms that are one-one are called strong embeddings, whereas
those that are surjective are referred to as reductive homomorphisms; we write,
respectively, h : A ½s B and h : A ³s B. If there is a reductive homomorphism
from A onto B we say that B is a reduction of A and A an expansion of B. Note
that a bijective strong homomorphism is simply an isomorphism as it is defined
before and that reductive homomorphisms are the same as isomorphisms when the
language has equality. Both assertions are easy consequences of the following result.
Lemma 1.1. The following holds for every algebra homomorphism h : A →B.
(i) h : A → B iff rA ⊆ h−1 rB , for all r ∈ R.
(ii) h : A →s B iff rA = h−1 rB , for all r ∈ R.
(iii) h : A ³s B implies rA = h−1 rB and hrA = rB , for all r ∈ R.
h
A −−−−→ B
x
j
(†) idy
h−1 B −−−−→ hA
ĥ
This decomposition is essential because, as we shall see later on, the role homomor-
phisms play in universal algebra are performed by strong homomorphisms when we
deal with languages that contain some relation symbol.
A homomorphism h : A →B is said to be elementary, in symbols h : A →e B, iff
for any L-formula ϕ and any assignment g, A |= ϕ [g] iff B |= ϕ [h ◦ g]. Evidently,
if h : A →e B then A ≡ B. The next proposition will be used several times in the
sequel; its converse is not true but a weaker implication is contained in Corollary
4.6 below.
The direct product construction can be extended in several ways, three of which
are useful for our purposes. The first one is the notion of filtered product. Suppose
that F is a proper filter of Sb(I) and define
¡Q ¢2
ΘF := {ha,bi ∈ i∈I Ai : {i ∈ I : ai = bi } ∈ F}.
Q
As is well known, ΘF is a congruence relation on the algebra i∈I Ai , so that we
can put
Q Q Q QF
i∈I Ai /F := i∈I Ai /ΘF , i∈I RAi /F := i∈I RAi /ΘF ,
QF
where i∈I RAi denotes the family of relations
QF Q
i∈I rAi := {ha1 , . . . , an i ∈ ( i∈I Ai )n : {i ∈ I : ha1i , . . . , ani i ∈ rAi } ∈ F},
QF
for
Q
r ∈ R (actually, for each r, the set i∈I rAi is just the least relation that contains
r i∈I Ai and is compatible with ΘF ). Then, the filtered product of {Ai : i ∈ I} by
F is defined as the structure
Q Q Q
i∈I Ai /F := h i∈I Ai /F, i∈I RAi /Fi,
which
Q coincides with the direct product in the case F = {I}. For simplicity, if
a ∈ i∈I Ai , the equivalence class of a modulo ΘF is denoted by a/F.
We point out that the projection map from the direct product either onto its
components or onto the quotient modulo ΘF is not, in
Q general, a strong
Q homomor-
phism. Actually,
Q if π F means the projection from i∈I Ai onto i∈I Ai /F, the
preimage of i∈I Ai /F by πF is
QF Q QF
i∈I Ai = h i∈I Ai , i∈I RAi i.
Q
It is easy to show that, if L has equality, the filtered product i∈I Ai /F
Q is again
an L-structure for any proper filter F, i.e., the interpretation of ≈ on i∈I Ai /F
is again the identity relation. This is in fact a consequence of the following result,
whose proof can be found in almost every model theory textbook; see, e.g., [4].
The second generalization of the direct product construction comes from univer-
sal algebra. A structure
Q A is called a subdirect product
Q of the system {Ai : i ∈ I}, in
symbols A ⊆sd i∈I Ai , if A is a substructure of i∈I Ai and the restriction Qof the
projection map πi to A Q is surjective for every i ∈ I. AnQ embedding h : A ½ i∈I Ai
is subdirect if hA ⊆sd i∈I Ai ; we write h : A ½sd i∈I Ai to mean that h is a
subdirect embedding.
Q Note that Q every subdirect embedding is strong; indeed, if
h : A ½sd i∈I Ai , then hrA = r i∈I Ai ∩Q(hA)n for every n-ary relation symbol
r. So, h being one-one, hha1 , . . . , han i ∈ r i∈I Ai implies ha1 , . . . , an i ∈ rA , for all
a1 , . . . , an ∈ A.
Finally, a last generalization of direct products that combines filtered and sub-
direct products has been recently introduced by Czelakowski [7]; we also use it in
subsequent sections. Let A be a subdirect product of a system {Ai : i ∈ I} of
L-structures, and let F be a proper filter on I. It is an easy matter to check that
the restriction of ΘF to A, ΘF ,A := ΘF ∩ A2 , is a congruence on the algebra A. So
we define the filtered subdirect product of A by F as the structure
F
A/F := hA/ΘF ,A , RA /ΘF ,A i,
F
where RA := {rA,F : r ∈ R} and, for all r ∈ R,
QF
rA,F := i∈I rAi ∩ Aρ(r) .
holds for every first-order formula ϕ of L with at least one free variable. In this
section we introduce the concept of congruence on a structure and show how it is
related to this new predicate of equality, which is called equality in the sense of
Leibniz, or simply Leibniz equality.
cj ≡ cj+1 (θij ), 1 ≤ j ≤ k − 1.
W
Thus, the compatibility of i∈I θi follows immediately.
Co A = {θ ∈ Co A : θ ⊆ ΩA}.
Examples. Let L be a language with possibly some function symbols and a sole
relation symbol, of arity 2. Assume A is an L-algebra. We claim that a congruence
8
Proof. Clearly Ker h ∈ Co A. Let r be any relation symbol and let a, a0 ∈ Aρ(r)
be such that a ∈ rA and a ≡ a0 (Ker h). Since h is strong, ha0 = ha ∈ rB implies
a0 ∈ rA , and so Ker h belongs to Co A. Assume now that Ker h ∈ Co A and
rB = hrA for all r ∈ R. If ha ∈ rB , there is an element a0 ∈ rA such that ha = ha0 .
Thus a ≡ a0 (Ker h) and, consequently, a ∈ rA is equivalent to ha ∈ rB .
Some natural questions concerning the relation between the lattice of congruences
of certain structures and those of their substructures, homomorphic images and
products arise. We shall not enter into this subject, but merely state two results
that tell us something in this sense and that will become useful later on.
Lemma 2.3. Let A be an L-structure and let B ⊆ A. For every binary relation
θ ⊆ A2 , define θB = θ ∩ B 2 . Then, θ ∈ Co A implies θB ∈ Co B.
And from here we conclude the desired compatibility condition of hθ with the
functions and relations of B.
2.2. The Leibniz equality. Our next goal is to see that the largest congruence
of a structure is just the algebraic counterpart of a purely logical concept, viz. the
concept of equality in the sense of Leibniz that we announced earlier. To this end,
we define a Leibniz formula over L to be any formula ψ(x, y) with two free variables
such that, for some atomic L-formula ϕ = ϕ(x, z1 , . . . , zk ) with at least one free
variable x,
Theorem 2.6. If A is an L-structure, then a ≡ b (ΩA) iff A |= ψ(x, y) [a, b] for all
a, b ∈ A and all Leibniz formulas ψ(x, y) over L.
Proof. Let θ be the set of all pairs ha, bi such that A |= ψ(x, y) [a, b] for all Leibniz
formulas ψ. One easily verifies that θ is an equivalence relation. In order to see that
10
for all i ≥ 1. Let ψ(x, y) be any Leibniz formula and select any pairwise distinct
variables w1 , . . . , wn−1 not in ψ. Let ϑ be the formula that results of simultaneously
substituting f w1 . . . wi−1 xwi . . . wn−1 for x and f w1 . . . wi−1 ywi . . . wn−1 for y in
ψ(x, y). Then
Hence, since ∀w1 . . . ∀wn−1 ϑ(x, y, w1 , . . . , wn−1 ) is again a Leibniz formula over L
and ai ≡ bi (θ), the second condition holds and (3) is proved.
Assume now that r is an n-ary relation symbol of L and that a ∈ rA , a ≡ b (θ)
hold for some members a = ha1 , . . . , an i, b = hb1 , . . . , bn i of An . Take ϕ to be the
atomic formula rz1 . . . zi−1 xzi . . . zn−1 . Then A |= ψ(x, y) [ai , bi ] and, consequently,
we have the equivalence hb1 . . . bi−1 ai ai+1 . . . an i ∈ rA iff hb1 . . . bi−1 bi ai+1 . . . an i ∈
rA . This is true for all i ≥ 1, so a ∈ rA implies b ∈ rA , and θ is a congruence on A.
Finally, suppose Φ is another congruence on A, a ≡ b (Φ) and c1 , . . . , ck ∈ A. If
t1 , . . . , tn are terms over L whose free variables are among x, z1 , . . . , zk then
tA A
i (a, c1 , . . . , ck ) ≡ ti (b, c1 , . . . , ck ) (Φ), for 1 ≤ i ≤ n.
Thus, if r is any n-ary relation symbol, the compatibility of Φ with relations implies
An easy induction on the complexity of the formulas allows us to prove that the
atomic predicate ϕ in the Leibniz formulas can be replaced by arbitrary elementary
predicates. Therefore, we actually have the following logical description of the
largest congruence of a structure.
Corollary 2.7. Let A be an L-structure and let a, b ∈ A. Then a ≡ b (ΩA) iff for
any first-order formula ϕ := ϕ(x, z1 , . . . , zk ) over L and any c1 , . . . , ck ∈ A,
as far as possible by the largest congruence: in this case, any two elements are
related if and only iff they are “equal” in the above sense, i.e., they can be mutually
replaced in any elementary predicate with no change on truth. Because of this, we
shall use indistinctly the expressions Leibniz congruence of A and Leibniz equality in
A to mean the relation ΩA. We refer the reader to [12] for some results concerning
the properties of the Leibniz equality in a class of structures.
In this section we introduce the concept of quotient structure and state both
reduced and nonreduced structures as building blocks of two distinct complete se-
mantics for languages without equality. Some aspects of these two semantics are
investigated in the last section.
f A/θ a1 /θ . . . an /θ = f A a1 . . . an /θ;
The last proposition can also be used to conclude that quotient structures are
reductions. The converse is true again and allows us to state a homomorphism
theorem that extends the classical Homomorphism Theorem of universal algebra.
We base its proof on a new lemma that is important by itself.
Proof. Given c ∈ C, choose a ∈ A such that g(a) = c and define k(c) = h(a). The
condition Ker g ⊆ Ker h says that k is an algebra homomorphism from C into B.
Indeed, let c1 , . . . , cn ∈ C and a, a1 , . . . , an ∈ A satisfying that g(a) = f C c1 . . . cn
and g(ai ) = ci , 1 ≤ i ≤ n. Then ha, f A a1 . . . an i ∈ Ker g ⊆ Ker h, so that k is an
algebra homomorphism. Finally, if c = hc1 , . . . , cn i ∈ rC for some n-ary relation
symbol r ∈ R, we have that a = ha1 , . . . , an i ∈ rA and hence ha = kc ∈ rB . If, in
addition, h is strong, then kc ∈ rB implies a ∈ rA and consequently c ∈ rC .
Proof. The proof is a straighforward consequence of Proposition 3.1 and the pre-
ceding lemma.
The reader should notice that there are also easy versions of the remaining Iso-
morphisms Theorems, including the Correspondence Theorem.
The importance of the Leibniz quotients rests on the fact that the Leibniz equality
in them coincides with the common identity relation.
13
Proof. The first equivalence is just the contents of Gödel’s Completeness Theorem,
and the second one is a direct consequence of Proposition 1.3.
4. Fundamental Lemmas
Q
P (K) = {A : A ∼= i∈I Ai and Ai ∈ K for all i ∈ I},
Q
Pf (K) = {A : A ∼= i∈I Ai /F, Ai ∈ K for all i ∈ I and F is a proper filter on I},
Q
Pu (K) = {A : A ∼= i∈I Ai /U, Ai ∈ K for all i ∈ I and U is an ultrafilter on I},
Q
Psd (K) = {A : h : A ½sd i∈I Ai for some h, Ai ∈ K for all i ∈ I},
Q
Pf s (K) = {A : A ∼
= B/F, B ⊆sd Ai , Ai ∈ K for all i ∈ I,
i∈I
F is a proper filter on I}.
If O and O0 are any two of these operators, we write OO0 for their composition
and O ≤ O0 to mean that O(K) ⊆ O0 (K) for any class K of L-structures. For
each O, we also use the short notation O∗ for LO. Note that O(K), for O ∈
{P, Pf , Pu , Psd , Pf s }, are always nonempty classes, even if K is empty, since one
can choose I = ∅ and then they contain the trivial, one-element structure where all
relations are non-empty. When necessary, we shall write O(K) to indicate that we
only take non-empty index sets in the respective constructions.
Proof. The equality is easy to verify except when O is one of the operators that
corresponds to a product construction. So let us give an idea of the proof for these
cases. Assume first that O = Pf . Obviously, Pf ≤ Pf Pf . To prove the reverse
inclusion, let Fj be a properSfilter on Ij , for all j ∈ J, and F a proper filter on J.
Define a new index set K = j∈J (Ij × {j}) and let
S
G = { j∈J 0 (Fj × {j}) : J 0 ∈ F and Fj ∈ Fj for each j ∈ J 0 }.
So it is enough
Q Q to verify that there exists a subdirect embedding from A into the
product j∈J ( i∈Ij Aij ). Indeed, the mapping given by a 7−→ hhj πj ha : j ∈ Ji
satisfies the desired condition.
Finally, the idempotency of the operator Pf s can be derived almost immediately
from the equalities already stated; we omit the details.
The second of the lemmas describes the behavior of the operators E and R when
composed with some other operators.
Thus, since hi is strong for each i ∈ I, theQdefinition of the product structure implies
i∈I Ai , and hence h is strong. As a result,
that this is equivalent to ha1 , . . . , an i ∈ r Q Q
there is a reductive homomorphism from i∈I Ai onto i∈I Bi , and consequently
A ∈ EP (K).
The above proof extends easily to the cases O = Pf , Pu . Now, given any proper
Q F (possiblyQ
filter an untrafilter) of Sb (I) we define the canonical mapping hF from
i∈I A i /F into i∈I Bi /F by hF (a/F) Q= (ha)/F, andQwe can verify that hF is
again a reductive homomorphism from i∈I Ai /F onto i∈I Bi /F. In particular,
the fact that h is strong follows from the equality
Notice that the inequality Psd R ≤ RPsd does not seem to hold in general because,
if Bi is a reduction of Ai for i ∈ I, once
Q we lift a subdirect product of the family
{Bi : i ∈ I} up to a substructure of i∈I Ai , we cannot guarantee the restriction
of the projection into Ai to be surjective.
Algebraically, filter extensions (and hence homomorphic images) does not behave
as well as the other operators. This will appear obvious below in the study of
elementary classes axiomatized by atomic formulas. The next lemma contains some
of the properties of filter extensions that we shall need in the investigation of these
classes.
Proof. (i) Assume A ∈ RE(K) and let C be such that A, B ∈ R(C) for some B ∈ K.
By 3.4, C∗ ∼= A∗ and C∗ ∼= B∗ . Thus A, B ∈ E(C∗ ) and hence A ∈ ER(K). For the
converse, let h : A ³s C and g : B ³s C, with B ∈ K. From universal algebra we
know that there exists an absolutely free algebra F and surjective homomorphisms
k : F ³A and f : F ³B such that h ◦ k = g ◦ f . So it suffices to define F =
17
4.2. The Diagram Lemma. For languages with equality any elementary homo-
morphism is an embedding, so that the definition of elementary homomorphism
may be reformulated by saying that a map h : A → B is elementary if h is an iso-
morphism of A onto an elementary substructure of B. This is not true, however,
if the language does not involve the equality symbol ≈. We are going to see what
happens in this case. For this purpose, we must introduce some definitions.
Let A be an L-structure, and let LA be an A-expansion of L, i.e., the language
obtained from L by adding new distinct individual constants ca for all a ∈ A.
Following a common notation, all over this subsection we use a to indicate the
sequence of elements of A according to a certain well ordering on A, and c to
indicate the corresponding sequence of constants. Structures over LA are denoted
(B, ba )a∈A , where B is an structure over L and ba is a member of B for each a ∈ A.
As usual, we call diagram of A, denoted DA, the set of all atomic sentences
and negations of atomic sentences over LA which hold in (A, a)a∈A . We define the
Leibniz diagram of A, and denote it by Dl A, as the set that results from DA by
adding all LA -sentences of the form ψ(t, t0 ), for ψ(x, y) a Leibniz L-formula and
t, t0 closed terms of LA (i.e., terms constructed only from constants and function
symbols of LA ) such that their interpretations in (A, a)a∈A are congruent modulo
ΩA. This can be expressed as follows:
Theorem 4.5. (Diagram Lemma) The following hold for all L-structures A, B.
(i) If (B, ha)a∈A is a model of Dl A then h∗ : A∗ ½s B∗ .
(ii) If (B, ha)a∈A is a model of De A then h∗ : A∗ ½e B∗ .
Moreover, implications become equivalences under the assumption that h is a
homomorphism from A into B.
Proof. (i) Assume (B, ha)a∈A is a model of Dl A and a∗ = a0∗ , for some a, a0 ∈
A. By Theorem 2.6, ψ(ca , ca0 ) ∈ Dl A for all Leibniz L-formulas ψ(x, y). Thus
18
B |= ψ(x, y) [ha, ha0 ] and consequently (ha)∗ = (ha0 )∗ . This proves that h∗ is well
defined. Let us see that h∗ is a strong homomorphism. For this, let f be an n-ary
function symbol and a = ha1 , . . . , an i a member of An . For every Leibniz formula
ψ(x, y) we have ψ(cf A a1 ...an , f ca1 . . . can ) ∈ Dl A. Consequently, since (B, ha)a∈A is
a model of Dl A,
hf A a1 . . . an ≡ f B ha1 . . . han (ΩB),
which implies that h∗ is a homomorphism between the underlying quotient algebras.
Similarly, if r is an n-ary relation symbol, the condition
follows directly from the definition of Dl A and the fact that (B, ha)a∈A is a model
∗ ∗
of Dl A. So a ∈ rA iff (ha)∗ ∈ rB , and h∗ is strong. Finally, Proposition 2.2
implies that Ker h∗ ∈ Co A∗ . Hence, Ker h∗ = ∆A∗ and h∗ is a strong embedding
from A∗ into B∗ .
The reverse implication is an easy consequence from the definitions involved.
Given an n-ary relation symbol r and elements a1 , . . . , an ∈ A, the condition
(A∗ , a∗ )a∈A |= rca1 . . . can is equivalent to (B∗ , (ha)∗ )a∈A |= rca1 . . . can , because
h∗ is strong. Hence, (A, a)a∈A |= rca1 . . . can iff (B, ha)a∈A |= rca1 . . . can . On the
other hand, let t and t0 be terms over LA whose constants are among ca1 , . . . , cak
for some a1 , . . . , ak ∈ A. If ψ(t, t0 ) ∈ Dl A then
and hence, by Theorem 2.6, (B, ha)a∈A satisfies ψ(t, t0 ). Therefore, (B, ha)a∈A is
a model of Dl A. This completes the proof of (i).
(ii) The fact that h∗ is elementary follows from Proposition 1.3. According to
this proposition, (A∗ , a∗ )a∈A ≡ (A, a)a∈A and (B∗ , (ha)∗ )a∈A ≡ (B, ha)a∈A , so for
all L-formulas ϕ(x1 , . . . , xk ) and all a1 , . . . , ak ∈ A, we have
(A∗ , a∗ )a∈A |= ϕ(ca1 , . . . , cak ) iff (B∗ , (ha)∗ )a∈A |= ϕ(ca1 , . . . , cak ).
Thus,
and the only-if part is proved. The converse is obtained by a similar argument.
Proof. Using Lemma 1.2, part (i) is easy to check. Let us show (ii). Since h is
elementary, (B, ha)a∈A is a model of De A. Hence, by 4.5(ii), h∗ is an elementary
embedding. Moreover, A∗ ∼
= h∗ A∗ and A∗ ≡ B∗ imply that h∗ A∗ ≡ B∗ .
19
4.3. The Reduction Operator Lemma. The last fundamental lemma concerns
the special commutativity properties of the reduction operator L when composed
with other operators. This sort of commutativity is essential in order to derive in
the following section the Birkhoff-type characterizations of reduced model classes
from the corresponding characterizations for full classes.
In our case, the sublemma says that there is a strong embedding from C/θC
into B∗ , where θC = ΩB ∩ C 2 . So, by virtue of 1.2 and the Homomorphism
Theorem stated in 3.3, C/θC is isomorphic to some substructure of B∗ . On the
other hand, Proposition 3.4 implies C∗ ∼= (C/θC )∗ and consequently A ∼ = (C/θC )∗ .
∗ ∼ ∗
Thus, A ∈ S L(K). To prove the reverse inclusion, let A = C for some C such
that C ⊆ B∗ and B ∈ K. If πB denotes the projection from B onto B∗ then
−1
C0 := πB C is a substructure of B and the restriction of πB to C0 is also a reductive
homomorphism. Therefore we have A ∈ S ∗ (K).
Let us suppose now that O = Pf . We shall prove that for each family of L-
structures {Ai : i ∈ I} and each proper filter F over I, we have
Q Q
(4) ( i∈I Ai /F)∗ ∼
= ( i∈I A∗i /F)∗ .
Under this assumption, the desired equality follows trivially, for A ∈ Pf∗ (K) iff
Q Q
A∼ = ( i∈I Ai /F)∗ for some Ai ∈ K, i ∈ I, and A ∈ Pf∗ L(K) iff A ∼ = ( i∈I A∗i /F)∗
for some Ai ∈ K, i ∈ I. So let us proceed to prove (4).
Denote by A b and A respectively the products Q A∗ and Q Ai , and define a
i∈I i i∈I
mapping h from A/Fb into (A/F)∗ by h(b a/F) = (a/F)∗ , for every element a
b = ha∗i :
b
i ∈ Ii ∈ A. We must first of all show that h is well defined. For this, assume ab/F =
b
b/F, i.e., {i ∈ I : a∗i = b∗i } ∈ F , and let us conclude that (a/F)∗ = (b/F)∗ . We
use Theorem 2.6. Given any atomic L-formula ϕ := ϕ(x, z1 , . . . , zk ) and elements
20
The same argument proves the reverse implication. So, as ϕ(x, z1 , . . . , zk ) and
a1 /F, . . . , ak /F are arbitrary, Theorem 2.6 gives (a/F)∗ = (b/F)∗ . The fact that
h is a strong homomorphism is a direct consequence of the definitions involved and
the proof is omitted. Finally, since h is surjective, Proposition 3.4 says that
b ∗ ∼
h∗ : (A/F) = (A/F)∗
and hence h∗ is the desired isomorphism. This completes the proof of (4).
The equalities O∗ = O∗ L for O ∈ {P, Pu } can also be proved Q by the same
argument. So consider finally the case O = Psd . Let g : A ½sd i∈I Ai with
∗
Ai ∈ K, for i ∈ I, so that A∗ ∈ Psd
∗
(K). We ∗ ∗
Q are ∗going to show that A ∈ Psd (K ).
Indeed, consider the map h from A into i∈I Ai defined as follows: if a ∈ A and
ga = hai : i ∈ Ii, let
ha = ha∗i : i ∈ Ii.
Clearly h is a strong homomorphism and its composition withQ the projection from
Ai into A∗i is surjective, for all i. Therefore A/Ker h ½sd i∈I A∗i , and hence
¡ ¢∗
A/Ker h ∈ Psd ∗
(K∗ ). Proposition 3.4 completes the proof.
(ii) For O = Se we reason in very much the same manner as for O = S and then
apply 1.3 to obtain Se∗ = Se∗ L. To be more precise, let us keep the same notation
and assume C ⊆e B. Then, since C/θ ≡ C and B ≡ B∗ , we have C/θ ≡ B∗ and
consequently the embedding from C/θ into B∗ is elementary. For the converse we
just need to check that if C ≡ B∗ , the preimage of C by πB is also elementarily
equivalent to B. And this is a straightforward verification
Once we have derived the equality Se∗ = Se∗ L, it is easy to see that Se∗ L = Se L.
Indeed, let us prove that if A ⊆e B and B is reduced then A is reduced. Two
applications of 2.6 give the following: for all a, b ∈ A,
In Section 3 it has been established that first-order logic without equality has
two complete semantics, viz., the full and the reduced semantics. This suggests the
problem of finding what the difference is, if any, between the whole class of models
and the class of reduced models of a given set of sentences, see [10] and [11]. A part
of this problem is solved in this section. We state characterizations, in the style of
Birkhoff’s Variety Theorem (see, e.g., [3, Thm. II.11.9]), of both the full and the
reduced model classes of certain theories; namely, elementary, universal, universal
Horn and universal atomic theories. To this end, we first prove algebraic charac-
terizations for the full classes and then, using the Reduction Operator Lemma, we
derive analoguous results for the reduced classes.
Theorem 5.1. The following are equivalent for any class K of L-structures.
(i) K is an elementary class.
(ii) K is closed under E, R, Se and P u .
(iii) K = ERSe P u (K0 ), for some class K0 .
Proof. The implication from (i) to (ii) follows directly from Proposition 1.3 and L Ã os
Theorem on ultraproducts. Moreover, (ii) implies (iii) is trivial by taking K0 = K. So
let us show that (iii) entails (i). We claim that K is axiomatizable by T h K0 , where
K0 is as in (iii). Note first of all that for any class L of L-structures, T h L = T h O(L)
whenever O ∈ {E, R, Se , P u }, again by 1.3 and 1.5. Thus, T h K = T h K0 and the
inclusion K ⊆ M od T h K0 is clear. Assume A ∈ M od T h K0 and let us see that A ∈ K.
Let ∆ = Sbω (De A). Given any set Φ of LA -formulas, we write Φ(ca1 , . . . , cak ) to
mean that the constants ca , for a ∈ A, appearing in the elements of Φ are among
ca1 , . . . , cak . We claim that if Φ ∈ ∆, then there exist some BΦ ∈ K0 and some
{ba,Φ : a ∈ A} ⊆ BΦ such that
V
(BΦ , ba,Φ )a∈A |= Φ(ca1 , . . . , cak ).
Suppose not. Then, given any B ∈ K0 and any {ba : a ∈ A}, we have
V
(B, ba )a∈A |= ¬ Φ(ca1 , . . . , cak ).
V
Consequently, the class K0 satisfies the L-sentence ∀x1 . . . ∀xk ¬ Φ(x1 , . . . , xk ), i.e.,
V
∀x1 . . . ∀xk ¬ Φ(x1 , . . . , xk ) ∈ T h K0 .
22
V
But this implies that A |= ∀x1 . . . ∀xk ¬ Φ(x1 , . . . , xk ), and hence contradicts the
assumption Φ ∈ ∆. So the claim does hold.
As usual, define JΦ = {Ψ ∈ ∆ : Φ ⊆ Ψ} for Φ ∈ ∆. The family {JΦ : Φ ∈ ∆} has
the finite intersection property,
Q so there is an ultrafilter U on ∆ such that JΦ ∈ U
for every Φ. Let B =Q Φ∈∆ BΦ /U. Clearly B ∈ P u (K0 ). Let us show that if
ba := hba,Φ : Φ ∈ ∆i ∈ Φ∈∆ BΦ , for each a ∈ A, then
Also, J{ϕ} ∈ U and J{ϕ} ⊆ {Φ ∈ ∆ : (BΦ , ba,Φ )a∈A |= ϕ(ca1 , . . . , cak )}. There-
fore, since U is an ultrafilter, the last condition above is satisfied. So (B, ba /U)a∈A
is a model of ϕ(ca1 , . . . , cak ) and (5) is proved.
We now apply the Diagram Lemma. Then h∗ : A∗ ½e B∗ , where ha = (ba /U),
and so 4.6 gives A ∈ ESe R P u (K0 ). Lemma 4.2(ii) and the assumption that K=
ERSe P u (K0 ) complete the proof.
Proof. Part (i) follows immediately from the proof of the preceding theorem, because
it establishes the equality M od T h K = ERSe P u (K). To see (ii), it suffices to show
∗
that LERSe P u = Se P u L. Indeed,
Theorem 5.4. For any class K of L-structures, the following are equivalent.
(i) K is a universal class.
(ii) K is closed under E, R, S and P u .
(iii) K = ERS P u (K0 ), for some class K0 .
We begin by showing that (C, ba /U )a∈A is a model of DA. Consider any element
ϕ := ϕ(ca1 , . . . , cak ) of DA. We have that
Hence, since U is an ultrafilter, the last set belongs to U . So, by virtue of 1.5,
Since C is generated by {ba /U : a ∈ A}, there exist some q ≥ 0, some a01 , . . . , a0q ∈ A
and some L-terms t1 , . . . , tp in q variables such that
bi /U := tC
i (ba01 /U, . . . , ba0q /U), for 1 ≤ i ≤ p.
Hence, since it has already been proved that (C, ba /U)a∈A is a model of DA, we
have A |= σ(t(x1 , . . . , xk ), u1 , . . . , uq ) [a1 , . . . , ak , a01 , . . . , a0q ], i.e.,
We now apply the assumption tA (a1 , . . . , ak ) ≡ t0A (a1 , . . . , ak ) (ΩA), which says
that the preceding condition is equivalent to
Finally, reversing the previous argument, we derive the equivalence of (8) with the
right-hand side of (7):
Proof. We just repeat the argument for the proof of Corollary 5.2.
Corollary
¡ ¢∗ 5.6. A class K of reduced L-structures is a reduced universal class (i.e.,
K = KU ) iff it is closed under reduced substructures and reduced ultraproducts
modulo ultrafilters over nonempty sets.
A reduced universal class is not in general closed under the operators S and P u .
For ultraproducts this is shown by the example given in the previous subsection.
For substructures we can find simple counterexamples. For instance, consider the
language of groups together with a unary relation symbol, L = { ·, e, r }. The whole
class of L-structures is universal (the sentence ∀x(rx →rx) provides an axiomati-
zation). Let A be a simple group and B a nonsimple subgroup of A. Then, if
N is the universe of a normal subgroup of B, A = hA, N i is a reduced structure,
B = hB, N i ⊆ A and B is not reduced.
5.3. Universal Horn Classes. Following the common terminology, let us call
(strict) universal Horn sentence over L any universal L-sentence in prennex form
whose matrix is the disjunction of a finite set (possibly empty) of negated atomic for-
mulas and exactly one atomic formula. Then, we say that a class K of L-structures
is a (strict) universal Horn class if there exists some set Γ of universal Horn L-
sentences such that K= M od Γ, or equivalently, if K = M od T h∀H K, where T h∀H
means the whole set of universal Horn sentences satisfied by the members of K.
26
Theorem 5.7. The following are equivalent for any class K of L-structures.
(i) K is a universal Horn class.
(ii) K is closed under E, R, S and Pf .
(iii) K= ERSPf (K0 ), for some class K0 .
Proof. As for universal classes, (i) implies (ii) is easily checked using Theorem 1.4
instead of LÃ os Theorem. Likewise, (ii) implies (iii) is clear. Let us prove the
implication from (iii) to (i). For this, we shall see that (iii) entails K is axiomatizable
by T h∀H K0 . Certainly K ⊆ M od T h∀H K0 (observe that K must contain the trivial,
one-element structure). Suppose A ∈ M od T h∀H K0 . Let ∆ = Sbω (DA). If we are
given Φ ∈ ∆, Φ := Φ(ca1 , . . . , cak ), then
V
A |= ∃x1 . . . ∃xk Φ(x1 , . . . , xk ).
We want to show that some member of P (K0 ) satisfies this sentence as well. For
this purpose it suffices to prove that
V
(9) ∀x1 . . . ∀xk ¬ / T h P (K0 ).
Φ(x1 , . . . , xk ) ∈
/ T h K0 ,
∀x1 . . . ∀xk (¬ϕi (x1 , . . . , xk ) ∨ ¬ϕp+1 (x1 , . . . , xk ) ∨ · · · ∨ ¬ϕq (x1 , . . . , xk )) ∈
Define Q
bj := (b1j , . . . , bpj ) ∈ 1≤i≤p Bi , 1 ≤ j ≤ k.
Then Theorem 1.4 implies
Q V
1≤i≤p Bi |= Φ(x1 , . . . , xk ) [b1 , . . . , bk ],
Q
and hence, since 1≤i≤p Bi ∈ P (K0 ), (9) is proved.
27
We can now proceed as in the proof of 5.4 to obtain an LA -structure (C, ba /U)a∈A
of SPu P (K0 ) such that (C, ba /U)a∈A ∈ M od Dl A. So, a new application of the
Diagram Lemma gives A ∈ ERSPu P (K0 ). But
Hence, A ∈ ERSPu P (K0 ) ⊆ ERSPf (K0 ) and the assumption (iii) says that A ∈ K.
This completes the proof of the theorem.
Given any class K of L-structures, we define the full universal Horn class gener-
Q
ated by K, or simply the universal Horn class generated ¡by K,
¢ as K =∗M od T h∀H K,
Q ∗
and the reduced universal Horn class generated by K as K = M od T h∀H K. The
next result includes a generalization of [2, Thm. 6.2].
Proof. Let us prove first the equality SPf = Pf s . The inclusion Pf s ≤ SPf is
obvious: by definition, a filtered subdirect product of a system of structures is
always isomorphic to a substructure of a filtered product of the system. Also,
Pf ≤ Pf s . So let us see that S ≤ Pf s . Take an arbitrary class K of L-structures,
and suppose A ⊆ B ∈ K. Define
Note that, for every b ∈ C, the element a in (10) is unique; let us denote it by
a(b). Also, C is the universe of a subalgebra of the direct power Bω ; rather, it is the
28
F := {X ∈ Sb(ω) : X is finite }.
We claim that the mapping h from C/F into A given by b/F 7−→ a(b) defines
an isomorphism between the filtered subdirect power C/F and the substructure A.
Indeed, if b, b0 ∈ C then
So h is the desired isomorphism. From the claim we conclude that A ∈ Pf s (B) and
hence S(K) ⊆ Pf s (K). This completes the proof of the equality SPf = Pf s .
To see Pf s = Psd SPu , we first notice that Psd SPu ≤ Pf s , for Pf s is idempotent
by Lemma 4.1 and each one of the operators Psd , S and Pu is less than Pf s .
For the reverse inclusion, let {Ai : i ∈ I} be a system of structures and let F
be a proper filter on I. Clearly F may be expressed as the intersection of some
family of ultrafilters
T on I; for simplicity suppose {Uj : j ∈ J} is such a family,
i.e., F = j∈J Uj , where Uj is an ultrafilter of Sb(I). Then the congruence ΘF
QF
is the intersection of the family {ΘUj : j ∈ J} and, for all r ∈ R, i∈I rAi =
T QUj Ai Q
r . So the filtered product i∈I Ai /F is subdirectly embeddable into
Qj∈J ¡Qi∈I ¢
j∈J i∈I Ai /Uj by the mapping
Thus, if A/F is a filtered subdirect product of the system {Ai : i ∈ I}, the image
h(A/F) can be easily proved to be isomorphic to a subdirect product of the struc-
tures A/Uj , j ∈ J. In conclusion, Pf s ≤ Psd SPu , and this completes the proof of
the second equality.
Proof. Part (i) follows directly from 5.10 and 5.11. To obtain (ii) we must apply
Proposition 4.7(i) and the preceding lemmas.
The examples provided in the previous sections show that reduced universal
Horn classes are not in general closed under the operators S and Pu . An easy
counterexample borrowed from [2] proves that they are also not closed under P
(and hence Pf ). Namely, if L consists of one relation symbol, of arity 1, and no
function symbol, then the reduced L-structures are of the form A = h{a, b}, {a}i
for distinct elements a, b. So A2 is not reduced, because |A2 | = 4.
Theorem 5.13. For any class K of L-structures, the following are equivalent.
(i) K is a universal atomic class.
(ii) K is closed under H, E, S and P .
(iii) K= HESP (K0 ), for some class K0 .
Proof. (i) implies (ii) and (ii) implies (iii) are clear. Let us show (iii) implies (i)
by proving that K is axiomatizable by Atm K0 . Once more the inclusion K ⊆
M od Atm K0 is easy to check. Assume A ∈ M od Atm K0 and let ∆ be the set
D− A of negated atomic LA -sentences which are satisfied by (A, a)a∈A . Let ϕ :=
ϕ(ca1 , . . . , cak ) ∈ ∆. We claim there exist Bϕ ∈ K0 and {ba,ϕ : a ∈ A} ⊆ Bϕ such
that
(Bϕ , ba,ϕ )a∈A |= ϕ(ca1 , . . . , cak ).
Otherwise, the sentence ∀x1 . . . ∀xk ¬ϕ(x1 , . . . , xk ) is logically equivalent to the uni-
versal closure of some member of Atm K0 , and hence A |= ∀x1 . . . ∀xk ¬ϕ(x1 , . . . , xk ).
But this contradicts the assumption ϕ ∈ ∆. So let
Q
B := ϕ∈∆ Bϕ ,
Q
ba := (ba,ϕ : ϕ ∈ ∆) ∈ ϕ∈∆ Bϕ , for each a ∈ A,
C := B ¹ {ba : a ∈ A}.
Also, since (C, ba )a∈A is a model of ∆ = D− A, the following is true for any atomic
L-formula rt1 . . . tn , where t1 , . . . , tn are terms in k variables:
implies htA A A
1 (a1 , . . . , ak ), . . . , tn (a1 , . . . , ak )i ∈ r .
Remark. Notice that this result specializes to Birkhoff’s Variety Theorem, for re-
ductive homomorphisms are just isomorphisms when L has equality. In fact, the
preceding proof simplifies in this case and provides a proof of a general form of
Birkhoff’s Variety Theorem strictly based on model-theoretic techniques. The sim-
plification goes as follows. If ≈ is a symbol of L, then the LA -sentence ¬ca ≈ ca0
belongs to ∆, for each a, a0 ∈ A such that a 6= a0 ; therefore, ba 6= ba0 must hold.
Also, if ha1 , . . . , an i, ha01 , . . . , a0n i ∈ An , then f A a1 . . . an 6= f A a01 . . . a0n implies
¬f ca1 . . . can ≈ f ca01 . . . ca0n ∈ ∆, and hence f C ba1 . . . ban 6= f C ba01 . . . ba0n . In gen-
eral, we can iterate this argument and prove that we can construct directly a sur-
jective homomorphism from C onto A such that ba 7−→ a, and hence we obtain
A ∈ H(C) ⊆ HSP (K0 ).
We define the full universal atomic class generated by a class K, or simply the uni-
V
versal atomic class generated by¡K, as
¢ K = M∗ od Atm K, and the reduced universal
V ∗
atomic class generated by K as K = M od Atm K. Then we have:
As for universal Horn classes, we introduce the notation V to express the com-
posed operator HESP , so that we have proved the equality KV = V (K). In general,
however, the operators E and F do not commute, nor does F ∗ coincides with F ∗ L
as occurs for the remaining operators (cf. the Reduction Operator Lemma above).
There are easy counterexamples of this. For instance, let
and ∼0 is the relation that results from ∼ by joining the set {(0, 1), (1, 0)}2 . Then
it is easy to check that the Leibniz congruence on A is the relation ∼ (recall the
31
(a, b) ∈ {(0, 0), (1, 0), (0,1)} or (a0 , b0 ) ∈ {(0, 0), (1, 0), (0, 1)}
(11) implies (a, b) = (a0 , b0 ).
(12) (a + c, b + d) θ (a0 + c0 , b0 + d0 ).
If (a, b) is one of the pairs {(0, 0), (1, 0), (0, 1)}, then (11) says that (a, b) = (a0 , b0 )
and consequently (12) also holds. Finally, if (a, b), (c, d) are both members of the
set {(0, 0), (1, 0), (0, 1)}, we reason as before and obtain the same conclusion. All
this proves our claim, and therefore we have that B ∈ F E(A∗ ) but B ∈ / EF (A∗ ),
since no quotient of B can have as underlying algebra the additive group of integers.
A similar counterexample can be found that proves F ∗ 6= F ∗ L.
The previous remark says that the universal atomic class generated by a class
K cannot be obtained by adding ER to the classical operator HSP that generates
universal atomic classes in presence of the equality symbol; so far, this had consti-
tuted the only necessary modification with respect to the model theory developed
by Mal’cev. Also, since F ∗ 6= F ∗ L, the class F ∗ S ∗ P ∗ (K∗ ) does not necessarily coin-
cide with (KV )∗ . In view of this, two interesting issues arise naturally: to determine
sufficient conditions for the class K to satisfy the equalities KV = ERHSP (K) and
(KV )∗ = F ∗ S ∗ P ∗ (K∗ ). An answer to these problems can be found in [10]. Just
notice that none of the inequalities F ∗ S ∗ P ∗ ≤ F ∗ ESP and F ∗ ESP ≤ F ∗ S ∗ P ∗
seem to hold in general.
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